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Featured Investigations


Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers


Firms We Have Pursued for Clients








Rex Securities Law Walls St Banner
  • Robert Rex, Esq.

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN
Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Robert Rex, Esq.

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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  • Robert Rex, Esq.

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX
Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX 150 150 Robert Rex, Esq.

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

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  • ER

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA
Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

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  • ER

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA
Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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  • Robert Rex, Esq.

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA
John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Robert Rex, Esq.

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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  • ER

Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL
Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL 150 150 ER

Robert Melberth Investigation   March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth,  a broker employed by Emerson Equity,  discloses multiple customer disputes seeking more than $12 million in damages.…

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  • ER

Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK
Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK 150 150 ER

Karen S. Cunningham Investigation   March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker with Kestra Investment Services,  discloses a pending customer suit. The Financial…

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  • ER

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX
Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX 150 150 ER

Crystal Turk Investigation February  2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…

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  • ER

Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK
Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK 150 150 ER

Karen  Cunningham Investigation   February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham,  a broker employed by Kestra Advisory Services,  discloses a pending customer dispute. The Financial…

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  • ER

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX
Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX 150 150 ER

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs,  a broker employed by Securities Management and Research, Inc.,  discloses a customer dispute. The Financial…

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